Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗

CRD #8174 · FINRA BrokerCheck + SEC IAPD

UBS Financial Services Inc.

UBS Financial Services Inc. carries 926 BrokerCheck disclosures across 6,346 branch offices - light load for a national firm, earning a Grade C.

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Grade C
Safety grade
6,346
branch offices
926
disclosures
0.15
per office

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

6,346 offices

FINRA: Large firm

Total disclosures

926 events

On FINRA BrokerCheck

Regulatory events

476 actions

51% of all disclosures

Disclosures per office

0.15 per office

926 ÷ 6,346 offices

UBS Financial Services Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 82% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 476
Arbitrations 445
Civil Events 5
Total 926

Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗

Disclosure category share

Regulatory 476 Arbitration 445 Civil 5

Disclosure Profile

UBS Financial Services Inc.'s disclosure record, broken down by category and footprint.

Disclosures per office
0.15
Light load
Regulatory share
51%
of total disclosures
Size class
National firm
6,346 branches

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Weehawken, NJ, 07086
Formed
06/30/1969
State of Formation
Delaware
CRD Number
8174
SEC Number
16267

Verify at FINRA BrokerCheck

FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.

View on FINRA BrokerCheck ↗

What the Record Says About UBS Financial Services Inc.

UBS Financial Services Inc. (Corporation, CRD# 8174 · SEC# 16267 · Weehawken, NJ) operates 6,346 branch offices - a national firm (FINRA: large), scope ACTIVE.

BrokerCheck shows 926 disclosures as of July 2026 (about 0.15 per branch office): 476 regulatory, 445 arbitration, 5 civil. Letter grade C (3/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Every firm registered with FINRA or the SEC must report regulatory actions, customer complaints, arbitrations, and civil judicial events on its public BrokerCheck and Form ADV records. A disclosure is not automatically a finding of wrongdoing, it can range from a settled customer dispute to a formal regulatory sanction, but a heavy disclosure load relative to a firm's size is a signal worth examining before you hire. Because larger firms naturally accumulate more disclosures across more offices, PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Read each disclosure's underlying detail on the official record rather than relying on the headline number alone. Registration itself confirms only that a firm is authorized to do business, not that its compliance history is clean.

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Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

What does a grade of C mean for UBS Financial Services Inc.?
A grade of C reflects UBS Financial Services Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (national firm). It carries 926 total disclosures across 6,346 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does UBS Financial Services Inc. have?
UBS Financial Services Inc. has 926 total FINRA disclosures, including 476 regulatory events, 445 arbitrations, 5 civil events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is UBS Financial Services Inc.?
UBS Financial Services Inc. operates 6,346 branch offices and is classified by FINRA as a large firm, registered in NJ (National firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify UBS Financial Services Inc.'s disciplinary record?
You can verify UBS Financial Services Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 8174. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid UBS Financial Services Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. UBS Financial Services Inc. carries 926 disclosures across 6,346 branch offices (about 0.15 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

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Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This firm's record is rendered directly from FINRA BrokerCheck and SEC EDGAR data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error.